Simon A. Vine
Professional summary
Simon Alexander Vine, who also goes by Semyon Alexandrovich VIne, Simon Alexandre Vine, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Simon is registered as a RR (Registered Representative) and started their career in finance in 2001. Simon has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Simon Alexander Vine's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 17, 2022 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003August 26, 2021 - June 15, 2022
IOI CAPITAL AND MARKETS, LLC
September 21, 2020 - August 27, 2021
STONEHAVEN, LLC
March 15, 2001 - January 20, 2010
THE ULTIMA GLOBAL MARKETS (USA), INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/8/2024)
(4/28/2023)
(6/17/2022)
(8/1/2022)
(11/21/2024)
Exams
Series 7TO
Date: 9/21/2020
General Securities Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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